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88-28 Quarterly Check List of NASD Notices to Members

TO: All NASD Members and Other Interested Persons

The following are NASD Notices to Members issued during the first quarter of 1988. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed tos NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.

Notice Number

Date

Topic

88-1

January 4, 1988

Proposed Amendments to NASD By-Laws And Rules of Fair Practice, and Proposed New Government Securities Rules

88-2

January 5, 1988

Martin Luther King, Jr's Day; Trade Date-Settlement Date Schedule

88-3

January 7, 1988

Amendment to Section 64 of the NASD Uniform Practice Code Regarding Acceptance and Settlement of COD Orders, Effective February 11, 1988

88-4

January 14, 1988

NASDAQ National Market System Totals 3,040 Securities With Four Additions on January 19, 1988

88-5

January 14, 1988

Request for Comments on Proposed NASD Rule of Fair Practice Regarding Outside Business Activities

88-6

January 15, 1988

SEC Approves NASD New Order Confirmation Transaction (OCT) Service

88-7

January 15, 1988

Year-End Check List of NASD Notices to Members

88-8

January 20, 1988

Request for Comments on Proposed New Section 3 to Article VII and an Amendment to Article XI, Section 4 of the NASD By-Laws

88-9

January 28, 1988

NASDAQ National Market System Totals 3,040 Securities With Six Additions on February 2, 1988

88-10

February 1, 1988

Relocation of NASD New York Offices

88-11

February 8, 1988

Proposed Amendments to Article III, Section 27 of the NASD Rules of Fair Practice Regarding Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office"

88-12

February 8, 1988

Presidents' Day: Trade Date-Settlement Date Schedule

88-13

February 10, 1988

NASDAQ National Market System Totals 3,030 Securities With Nine Additions on February 16, 1988

88-14

February 10, 1988

Additional Arbitration Filing Fee and Advertising Service Charge

88-15

February 24, 1988

Amendment to Schedule A to the NASD By-Laws Concerning an Increased Application Fee for Member Firms With Statutorily Disqualified Individuals

88-16

February 24, 1988

NASDAQ National Market System Totals 3,004 Securities With Six Additions on March 1, 1988

88-17

March 1, 1988

Request for Comments on Proposed Amendments to NASD Rules of Fair Practice to Prohibit Non-Cash Compensation in Connection with Sales of Investment Company and Variable Contract Products

88-18

March 4, 1988

Extension of Comment Period: Proposed Amendments to Article III, Section 27 of The NASD Rules of Fair Practice Regarding Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office"

88-19

March 10, 1988

Proposed Amendment to Article VII of The NASD By-Laws Authorizing Mandatory Reporting of Trade Information

88-20

March 14, 1988

Request for Comments on Proposed Amendment to Article III, Section 35 of The NASD Rules of Fair Practice Relating to Advertising and Sales Literature For Investment Company Securities

88-21

March 14, 1988

Good Friday: Trade Date-Settlement Date Schedule

88-22

March 11, 1988

NASDAQ National Market System Totals 2,996 Securities With 11 Additions on March 15, 1988

88-23

March 23, 1988

SIPC Trustee Appointed
Windsor Equity Corporation
330 S. Executive Drive
Brookfield, Wisconsin 53005

88-24

March 30, 1988

Registration of Persons Soliciting on Behalf of Members

88-25

March 30, 1988

NASDAQ National Market System Totals 2,994 Securities With 13 Additions on April 5, 1988

 


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